Nirav Shah Email & Phone Number

Glasgow, United Kingdom

• Manage teams in Pune who are responsible for the processing and reconciliation of EMEA Cash dividends as well as APAC and EMEA Stock Loan Dividends; including verifying client tax elections for relief at source offerings. • Delivered on initiatives to enhance the client experience through systemic and process improvements, increasing control and supervisory oversight. • Produce risk management dashboards including managing people risk and progress relative to KRIs and KPIs.• Management of prepayment eligibility of trades/ deals to clearance of post payment Risk.• Manage and explanation of eligibility of Stockloan to counter parties in quirky situation.• Requirements, User stories, UAT and implementation of Automation. Key Achievement• Employee of the Month for successfully implemented German Release at Source Project in time.• Successfully completed Dividend payment Automation project in Agile environment as SME.SPOT Award winner - March 2021

Glasgow, United Kingdom

• Manage teams in Pune and Chennai who are responsible for the processing and reconciliation of Trade Settlement, providing weekly reporting to senior management.• Supporting related teams to clear Post Settlement Risk breaks.• SME for Subscription, Substitution, Fund Switch and Partial Redemption trades.• Updating and reviewing procedure documents regularly for the purpose of internal audit and FCA requirements.• Worked with technology groups to ensure correct trade flows are set-up in various trading systems to increase straight through processing.• Perform User Acceptance Testing (UAT) on new IT development, providing evidence to accept or reject the changes in exchange to improve future processing. • Involved with the system migration project, whereby all client’s portfolio was transferred from one system to another.Key Achievement• Developed a new monthly MI using lean methodology – reducing a substantial amount of time. • Worked with IT and developed a new dash board tool, capturing productivity, volumes, any potential risks and issues across the department for management.• Recognised and awarded successfully across various departments for help and support.

Glasgow, United Kingdom

• Process and reconcile mandatory and voluntary corporate action events (cash dividends, rights issues, tender offers etc) on equity products for the EMEA markets, helping to reconcile, determine entitlement and risk issues.• Liaising with custodians and clients to ensure notifications are processed. Ensure accurate instructions are made to custodians with the agreed timeframes.• Liaising with internal departments and external clients, custodians, service providers to ensure all queries are resolved and the enhancement of any procedures.• Working with supervisor to ensure all SLAs, key deliverables and project milestones are met.Transformation Project (Bangalore, India) - July 16 – Oct 16Transformation Project (Hyderabad, India) - Oct 16 – Jan 17• Involved in offshore projects, counting on headcount, developed training plans and training process.• Developed a KTT plan for training offshore and went to India as Process Expert.• Trained to a group of 11 people, managing full team during this process.• Trained on the Dividend /US Voluntary and Mandatory corporate action event creation processes.• Providing high level quality and productivity to management. • Drafting and finalizing all Business Process Manuals for offshore processes.• KRIs and KPIs are placed to monitor team’s daily work.• Checking their work and approved their events process by offshore team. Key Achievement• Recognised in the team for process improvement.• Achieved Employee of the month and key star performance awards.• As a process expert, appointed key member for transformation projects.• Successfully manage and leading team during the process.• Successfully achieved pay rise based on my performance and goal achievement.• Identified few missed and late deadline and saved affecting company’s P&L.

Glasgow, United Kingdom

• Monitoring and resolving Cash breaks • Identifying, and Resolving Client Money Breaks, and providing information to senior audience with regards to Client Money• Make sure all cash releasing are paying on correct market tax rate• Preparing daily Equity Risk Reports, Key breaks report and report showing upcoming events for senior audience• Contacting registrar/agent for payable receivable cash• Working on process improvement projects• Working on DVOP, CARTS and WEALTH projects

Glasgow, United Kingdom

• Monitoring and resolving breaks for Mandatory, Optional, Cash Dividend and Coupon Corporate Action• Preparing daily, weekly Equity Risk Reports and Dashboard for senior audience• Identifying, Matching and Resolving Intellimatch Cash Breaks• Identifying, and Resolving GGUA, Safe Cash and Stock breaks• Checking Shorts and Sag on post pay date events for tax and charges

Glasgow, United Kingdom

• Monitoring and resolving pay date + 1 risk for Bond Corporate Actions team, this involves checking daily pay sheets and exceptions on various risk reports.• Preparing Daily, Weekly and monthly risk reports and dashboard for senior audience.• Assisting fixed income teams with their day-to-day workloads such as updating MSFYI, Creating Files and sending Swift instruction.• Reviewing process improvement through possible automations using Excel• Extensive use of Mainframe, Euclid, Crest, Intellimatch and Internal settlement system

Glasgow, United Kingdom

• Cash Dividend Payment to the UK and Overseas market (UK, US, Europe, South Africa, etc) • According to Market Rules Check Ex Date/Record Date position and Identifying Cash with the event position• Make sure event is having proper Tax code and all trades are booked accordingly and Make sure any Box position cleared before doing payment • Identifying and analyzing Breaks and shorts in the accounting entries. Realign the break and do adjustments in the trade.• Pay cash dividend to appropriate account and Match the cash/journal next day in the system• Required to reconcile complex accounting structures to ensure that the correct value or the dividend is paid to all areas of the business.• Need to be accurate, methodical, organized and communicative as they could liaise with any area of the business to resolve reconciliation areas from client to trade areas. • Ensure that risk is controlled and targets are met• Prioritization of key breaks to be resolved and identify breaks that may cause losses

• Surrender/Settlement of Mutual Fund• Solving Trust, Power of Attorney and Deed of Assignment’s Claims and Settlements• Settlement of Deceased Plan holder – proceeds to the Executor, Trustee• Reconciliation of Internal Errors/Entries• Checking and Authorizing Payments, Checking Teammate’s Works and giving them Feedback• Dailey Surrender Figures, Check Control Sheet and Investment Sheet for Management Reporting• Complaint and Dis-Satisfaction Analysis, Identifying Complaints and investigate that complaint and reply to customer. • Escalation of Work• Assisting Project

• Allocation of Work to the Team Member (8 to 10), make sure all works maintain SLA standard• Making Daily Planner and Skills MI, Report to the Management• Checking Work-done and Error log• Monthly Reporting and Planning• Training Plans• Doing 1-2-1 with the Team Members• Giving Feedback to the Team and Individuals• Escalation of Work• Complaint and Dis-Satisfaction Analysis• Creating and Developing Excel Sheet for different Management Data

Had to check all applications, information provided is accurate or not, missing information needs to get from IFA.Had to check credit history of the applicant and need to take decision whether application is accepting or rejecting.If application is rejecting than need to call IFA for further information to recheck the credit history. And make them understand why it is happened. Send the decision of the application by phone/fax to the IFA.Had to book product, which the applicant was requested.Need to keep eye on each and every details and documentation which I produced or pass through.Previous Roles Available on request**

Msc, International Marketing

Bachelor, Business Administration